Robert Falato
Robert Falato is a CFP-designated registered investment advisor at Northern Trust Securities, INC, based in Chicago, IL, with 35 years of industry experience. Their practice areas include Investment Management. Their firm serves 2,283 clients with $1.3B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $500K | 1.25% |
| $500K - $1.0M | 1.00% |
| $1.0M - $5.0M | 0.85% |
| $5M+ | 0.75% |
These fees apply to Fund Strategist Portfolio, Strategist UMA, Equity and Balanced SMA strategies. Manager fees are included in the total account fee and are subject to change without notice. Optional Tax and/or Overlay Services are assessed a fee on all assets in addition to the account asset management fee. Accounts employing both Tax Overlay Services and Impact Overlay Services will be charged only one overlay service fee. Overlay Service Fees: First $10Mil 0.10%, $10Mil - $25Mil 0.08%, Assets over $25Mil 0.05%
Fee Estimator
Location
50 South LaSalle, Chicago, IL, 60603
Get directionsHistory
Regulatory History (1)
Customer Dispute
July 2008Other Business Activities
Robert owns rental property since 2021. This activity requires minimal time and is not investment-related.
Employment History
Current Registrations
Northern Trust Securities, INC
Northern Trust Securities, INC.
Northern Trust Securities, INC.Broker
Previous Registrations
Northern Trust Securities, INC
Vision Investment Services, INC.Broker
Invest Financial CorporationBroker
State Registrations51 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.